Trading Rules and Regulations

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Both the CSE Trading Rules and the Universal Market Integrity Rules, of the Investment Industry Regulatory Organization of Canada (IIROC) apply to activity on the Exchange. Dealers who are members in good standing of IIROC and are also registered with a Canadian securities regulatory authority are welcome to apply for trading access to the CSE.

Rule 5 - Clearing & Settlement

Rule 6 - Reports

Rule 7 - Investigations & Enforcement

The Exchange may, whether or not on the basis of a complaint or other communication in the nature of a complaint, investigate the conduct of any Dealer or Related Person of a Dealer under the jurisdiction of the Exchange. January 2015